| 18-03710 | 08/16/2019 | Claimant(s): David James
Claimant Lawyers(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Anthony D. DeToro
Hearing Site: Los Angeles, CA
| | |
| 15-00038 | 06/20/2019 | Claimant(s): Delise Martire, Sandra Hendricksen Martire
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Edward Jones, Troy Nelson
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Terry F. Peppard, Stanley H. Michelstetter, P. J. Boylan
Hearing Site: Bismarck, ND
|  | $513,716 |
| 18-03073 | 03/25/2019 | Claimant(s): William Ferguson
Claimant Lawyers(s): William Dean Ferguson
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 18-00555 | 02/19/2019 | Claimant(s): Joan Waldman
Claimant Lawyers(s): Leslie S Akins
Respondent(s): Gary Wei, Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert D. Sussin, Robert B. Hansohn, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12504 |
| 15-01866 | 02/13/2018 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Isidro Miramontes, Miramontes Capital
Respondent Lawyers(s): Anthony R. Bisconti, David Harrison
Arbitrator(s): Milton N. Gross, Marie Ann Stein, Mark Thomas Risner
Hearing Site: Los Angeles, CA
| | |
| 16-03593 | 08/16/2017 | Claimant(s): Douglas Bielefeldt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeffrey M. Allen
Hearing Site: Portland, OR
| | |
| 14-01210 | 03/17/2015 | Claimant(s): Quentin Anderson
Claimant Lawyers(s): Richard L. Grant
Respondent(s): Raymond, James & Associates., Eagle Asset Management, Eagle Fund Distributors.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Randall T. Stack, Muriel Desloovere, Rochelle Friedman Walk
Hearing Site: Tampa, FL
| | |
| 11-00556 | 01/09/2013 | Claimant(s): Hooman Moshar, May Moshar
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Donald S. Simons, Joel D. Davidman, Brent J. Rosenbaum
Hearing Site: Los Angeles, CA
| | $1,333,930 |
| 11-03971 | 05/08/2012 | Claimant(s): Matthew Phillips
Claimant Lawyers(s): Matthew Timothy Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | |
| 07-03310 | 07/20/2011 | Claimant(s): Carlo Carrion
Claimant Lawyers(s): Carlo A. Carrion
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): John E. Ohashi, Christine A. Page, Jerry Ellner
Hearing Site: Los Angeles, CA
| | |
